DESIGN OF ADAPTIVE MIMO SYSTEM USING LINEAR DISPERSION CODE
Mabruk Gheryani, Zhiyuan Wu, and Yousef R. Shayan
Concordia University
Department of Electrical Engineering
Montreal, Quebec, Canada
email: (m gherya, zy wu, yshayan)@ece.concordia.ca
ABSTRACT
In this paper, we develop a new design for adaptation of lin-
ear dispersion code. A new adaptive parameter called space-
time symbol rate is applied in our design. We have studied the
statistics of signal-to-interference-noise of a linear MMSE re-
ceiver over a Rayleigh fading channel. The average BER for
a given constellation using the MMSE receiver is calculated
numerically. With the statistics as a guideline, two adaptive
techniques using constellation and space-time symbol rate are
studied, respectively. If constellation and space-time sym-
bol rate are considered jointly, more selection modes can be
available. Theoretical analysis demonstrates that the average
transmission rate of the joint adaptation can be improved in
this case. Simulation results are provided to show the benefits
of our new design.
Index Terms— MIMO,LDC, FRFD
1. INTRODUCTION
The demand for bandwidth efficiency in wireless communi-
cations has experienced an unprecedented growth. One sig-
nificant advancement to improve radio spectrum efficiency
is the use of multiple-input-multiple-output (MIMO) technol-
ogy [1]. Space-time (ST) codes are the most promising tech-
nique for MIMO systems [2]. Due to battery life and device
size, the power available for radio communications is limited.
Under this power constraint, adaptive technique can coop-
erate with MIMO technology to further exploit radio spec-
trum [3] [4].
In an adaptive system, a feedback channel is utilized to
provide channel state information (CSI) from the receiver to
the transmitter. According to the feedback of CSI, the trans-
mitter will adjust transmission parameters, such as power al-
location, modulation, coding rate, etc. This is conditioned
by the fact that the channel stays relatively constant before
the transmitter receives the CSI and then transmits next data
block accordingly. That is, the channel is “slow”. Many of
adaptive MIMO schemes have been proposed, such as water-
filling-based schemes [1] [5] and various beamforming schemes
[4] [6]. The above schemes often need near-perfect CSI feed-
back for adaptation calculation and consume large feedback
bandwidth. In practice, the channel estimation will exhibit
some inaccuracy depending on the estimation method. The
receiver will need time to process the channel estimate and
the feedback is subject to some transmission delay. The trans-
mitter needs some time to choose a proper code, and there
are possible errors in the feedback channel. All these factors
make the CSI at the transmitter inaccurate. Additionally, the
feedback bandwidth is often limited. In these cases, adap-
tive schemes with a set of discrete transmission modes are
often more preferable. We can call them “selection-mode”
adaptation. At the receiver, the channel is measured and then
one transmission mode with the highest transmission rate is
chosen, which meanwhile meets the BER requirement. The
optimal mode is fed back to the transmitter.
For selection-mode MIMO adaptation, the most conve-
nient adaptive parameter is constellation size for uncoded sys-
tems. For example, constellation adaptation, such as M-QAM,
is applied to space-time block code (STBC) [7] and to space-
time trellis code (STTC) [8]. The disadvantage of these schemes,
is that they are not flexible for different rates, which is the key
requirement in the future wireless communications. Addi-
tionally, the gap between the available transmission rates are
often very large due to the use of discrete constellations [6].
In this paper, we propose to apply linear dispersion code
(LDC) [9] [10] for adaptation. This is because it subsumes
many existing block codes as its special cases which allows
suboptimal linear receivers with greatly reduced complexity,
and provides flexible rate-versus-performance tradeoff [9] [11].
With the application of LDC, a linear MMSE detector is more
attractive due to its simplicity and good performance [13]. As
a guideline, the statistics of SINR for LDCs with a MMSE re-
ceiver is studied and the associated average BER is calculated
numerically. Since the LDC is applied, it makes ST symbol
rate available for adaptation. By adjusting this new parameter
together with constellation size, more available transmission
modes can be provided. Hence, the throughput under a power
constraint can be further improved while the target bit error
rate (BER) is satisfied.
 2. ADAPTIVE SYSTEM MODEL USING LDC where H = IT ⊗H with ⊗ as the Kronecker product operator,
G = [m1 , m2 , . . . , mL ] will be referred to as the modulation
In this study, during one ST modulation block, the channel matrix and h̃i is the i-th column of H. e
is assumed to be the same as estimated at the receiver. Fur- In our design, a full-rate full-diversity (FRFD) LDC is ap-
thermore, the channel is assumed to be a Rayleigh flat fad- plied. However, ST symbol rate L/T and constellation size η
ing channel with Nt transmit and Nr receive antennas. Let’s will adapt to the channel. To achieve full rate, the following
denote the complex gain from transmit antenna n to receiver conditions shall be satisfied.
antenna m by hmn and collect them to form an Nr ×Nt chan-
nel matrix H = [hmn ], known perfectly to the receiver. The L = Nt T (5)
entries in H are assumed to be independently identically dis-
tributed (i.i.d.) symmetrical complex Gaussian random vari- GGH = I (6)
ables with zero mean and unit variance. That is,
In this system, the information bits are first mapped into ½
symbols. After that, the symbol stream is parsed into blocks 1 ∀i = j
of length L. The symbol vector associated with one modu- trace(MH
i Mj ) = (7)
0 otherwise
lation block is denoted by x = [x1 , x2 , . . . , xL ]T with xi ∈
Ω ≡ {Ωm |m = 0, 1, . . . , 2η − 1, η ≥ 1}, i.e., a complex Furthermore, to achieve full diversity, we shall maximize
constellation of size 2η , such as 2η -QAM). The average sym- the outage probability Pr (kh̃i k2 ≥ ²), the following lemma
2η
P −1 is introduced [14].
bol energy is assumed to be 1, i.e., 21η |Ωm |2 = 1. Each
m=0
block of symbols will be mapped by the ST modulator to a Lemma 1 Consider vi , , ∀1 ≤ i ≤ n, i.i.d. Gamma random
dispersion matrix of size Nt × T and then transmitted over variables with density p(x) = e−βx xα−1 Pβ
α
/Γ(α). Let ξ =
n
the Nt transmit antennas over T channel uses. The following [ξ1 , ξ2 , . . . , ξn ] with ξi for all i and b = i=1 ξi vi . Pr (b ≥ t)
model will be considered in this study, i.e., is Schur-convex in ξ for

L (nα + 1)(ξ1 + ξ2 + . . . + ξn )
X t≥ (8)
X= Mi xi (1) β
i=1
Noting that h̃i = Hmi , we have
where Mi is defined by its L Nt × T dispersion matrices
Mi = [mi1 , mi2 , . . . , miT ]. The so-obtained results can be Nr
X
extended to the model in [9]. With a constellation of size 2η , kh̃i k2 = hH H
m Mi Mi hm (9)
the data rate of the space-time modulator in bits per channel m=1
use is
where hm is the m-th column vector of HH . The following
Rm = η · L/T (2)
decomposition is assumed
Hence, one can adjust ST symbol rate L/T and constellation
size η according to the feedback from the receiver. Mi MH
i = UDU
H
(10)
At the receiver, the received signals associated with one
modulation block can be written as where D = diag[dn ], ∀n = 1, 2, ..., Nt . By Lemma 5 in [1],
since UH hm has the same distribution as hm , we need only
L
X consider Mi MH
i = D [1]. Then we have
Y = HX + Z = H Mi xi + Z (3)
i=1 Nt
X Nr
X
kh̃i k2 = dn |hmn |2 (11)
where Y is a complex matrix of size Nr × T whose (m, n)-
n=1 m=1
th entry is the received signal at receive antenna m and time
instant n, Z is the additive white Gaussian noise matrix with P
Nt
i.i.d. symmetrical complex Gaussian elements of zero mean For the power constraint, we have dn = 1. Without loss
n=1
and variance σz2 . It is often desirable to write the matrix input- of generality, we assume d1 ≥ d2 ≥ . . . ≥ dNt ≥ 0.
output relationship in (3) in an equivalent vector notation. Let P
Nr
vec() be the operator that forms a column vector by stacking By Lemma 1, since the random variable |hmn |2 in
m=1
the columns of a matrix and define y = vec(Y), z = vec(Z), (11) is identically chi-square distributed with 2Nr degrees
and mi = vec(Mi ), then (3) can be rewritten as of freedom, the outage probability Pr (kh̃i k2 ≥ ²) is maxi-
L
mized if all the eigenvalues of Mi MH i are equal [11]. With
X
e +z=
y = HGx + z = Hx h̃i xi + z (4) tr(Mi MH i ) = 1, it implies that di = 1/Nt , ∀1 ≤ i ≤ Nt . As
i=1
a result, for each i, kh̃i k2 has the same value.
 In our design, the dispersion matrices are given by Then, the SINR of MMSE associated with xi is 1/σ̂i2 .
M(k−1)Nt +i = diag[fk ]P−(i−1) (12) 1 −1
γi = = h̃H
i RI h̃i (20)
for k = 1, 2, . . . , Nt and i = 1, 2, . . . , Nt , P is the permuta- σˆ2
i
tion matrix of size Nt and given by
µ ¶ Closed-form BER for a channel model with Gaussian noise
01×(Nt −1) 1 as (16) can be found in [15]. The average BER over MIMO
P= (13)
INt −1 0(Nt −1)×1 fading channel for a given constellation can be found as fol-
lows. " #
where fk denotes the k-th column vector of F. F = [fmn ] is
1X
a Fast Fourier Transform (FFT) matrix and fmn is calculated BERav = Eγi BER(γi ) (21)
by L i

1 In our LDC design, we have

fmn = √ exp(−2πj(m − 1)(n − 1)/Nt ) (14)
Nt
Nr
X
h̃H
i h̃j = hH H
m Mi Mj hm (22)
3. THE STATISTICS OF SINR WITH THE MMSE
m=1
RECEIVER
Since Mi is symmetric in our LDC design and kh̃i k2 has the
Since the LDC is linear, an MMSE detector can be applied
same value for each i as shown in the previous section, all the
as suboptimal receiver due to its simplicity and good perfor-
symbols has the same SINR, i.e., γ1 = γ2 = · · · = γL = γ.
mance [13]. The main goal of this section is to study the error-
Equation (21) can be written as
rate probability and the statistics of SINR for LDCs [9]- [11]
using linear MMSE receiver over a Rayleigh fading channel. Z
We consider a general system model as shown in Section BERav = BER(γ)PΓ (γ)dγ (23)
2. In our study, Nr ≥ Nt is assumed. Without loss of gen-
erality, we consider the detection of one symbol xi . Equation By using singular value decomposition (SVD), we have
(4) can also be written as
e H = P λj uj uH where u1 , . . . , uL−1 are orthogo-
L−1
e IH
H I j
e I xI + z
y = h̃i xi + H (15) j=1
nal vectors and {λi , ∀i = 1, . . . , L − 1} are eigen-values
e I is the matrix ob-
where xI is the rest of the symbols and H e IHe H . We assume λ1 ≥ . . . ≥ λr > λr+1 = . . . =
of H I
e
tained by removing the i-th column from H. e IH e H . Equation (20) can be
λL−1 = 0 and r is the rank of H I
A linear MMSE receiver is applied and the corresponding written as
normalized output is given by
 −1
L−1
X
x̂i = wiH y = xi + ẑi . (16)
γ = h̃H i
 λj uj uH 2 
j + σz I h̃i
where ẑi is the zero-mean noise term, which is approximated j=1
to be Gaussian [12]. The corresponding wi can be found as L−1
X |h̃H
i uj |
2
³ ´−1 =
h̃i h̃H λj + σz2
i + RI h̃i j=1
wi = ³ ´−1 (17) r L−1
X |h̃H uj |2 X |h̃H 2
h̃H h̃ h̃H +R h̃ i i uj |
i i i I i = + (24)
j=1
λj + σz2 j=r+1
σz2
where RI = H e IH
e H + σ 2 I. Note that the scaling factor
I z
1/[h̃H H
i (h̃i h̃i +RI )
−1
h̃i ] in the coefficient vector of the MMSE Since the elements in h̃i are i.i.d. Gaussian distributed, the
receiver wi is added to ensure an unbiased detection as indi- complex random variables h̃H H
i u1 , . . . , h̃i uL−1 , conditioned
cated by (16). The variance of the noise term ẑi can be found on u1 , . . . , uL−1 , are also i.i.d. Gaussian distributed.
from (16) and (17) as The closed-form formula for the average BER in (23) de-
2 H pends on the distribution of γ, which is difficult to determine.
σ̂i = wi RI wi (18)
Here, the above average BER is calculated numerically. For
Substituting the coefficient vector for the MMSE receiver in example, the average BER for the BERav for 2η -PSK can be
(17) into (18), the variance can be written as written as
· ¸
1 2 ³p π ´
σ̂i2 = H −1 (19) BERav = Eγ Q 2η γ sin( η ) (25)
h̃i RI h̃i η 2
 0
10
3x3
where {Θn , ∀n = 1, 2, . . . , N } is the set of transmission
8PSK−Simulation
8PSK−Numerical modes, RΘn is the rate of transmission mode Θn , BERΘn (γo )
−1
10
is the BER of transmission mode Θn at SNR γo and BERtarget
−2
10
is the target BER. Without loss of generality, we assume RΘ1 <
RΘ2 < . . . < RΘN . Θopt is the optimal transmission mode
BER

at SNR γo .
−3
10

−4
10
Below, we consider the average transmission rate using
the proposed adaptive algorithm. Let γΘn denote the mini-
mum SNR satisfying the following condition.
−5
10

−6
10
0 5 10
SNR
15 20
γΘn = arg min[BERΘn (γ) ≤ BERtarget )] (29)
γ

Fig. 1. Numerical and simulation results for LDC with That is, for the SNR region γΘn ≤ γ ≤ γΘn+1 , the trans-
MMSE receiver mission rate RΘn (i.e., the transmission mode Θn ) should be
selected while the target BER is satisfied.
and for rectangular 2η -QAM can be written as Then, the average transmission rate is
" Ãr !# N Z
4 3η γ X γΘn+1
BERav = Eγ Q (26) R̄ = RΘn pΓ (γ)dγ (30)
η 2η − 1 n=1 γΘn

where Q(·) denotes the Gaussian-Q function. Here, the above
average BER is calculated numerically. In Fig. 1, numerical
and simulation results are compared for 8PSK over 3 × 3 and
4PSK over 4 × 4 fading channels, respectively. As can be
seen, the numerical and simulation results match very well.
4. DESIGN OF SELECTION-MODE ADAPTATION
The general idea of selection-mode adaptation is to maximize
the average transmission rate by choosing a proper transmis-
sion mode from a set of available modes. Based on some
certain strategy, the transmitter is informed by the receiver to
increase or decrease the transmission rate depending on the
channel condition, i.e., CSI. For selection-mode adaptation,
the signal-to-noise ratio (SNR) will be considered as a proper
metric. The corresponding adaptive algorithm is proposed as
follows.
1. Find the SNR, say γo , at the receiver;
2. Find the BERs of each mode at the obtained SNR γo
from BER curves by experiment;
3. Select a proper transmission mode with the maximum
rate while satisfying the target BER; and
4. Feed back the selected mode to the transmitter.
We can formulate the selection of transmission modes as
follows.
Θopt = arg max RΘn (27)
{Θn ,∀n=1,2,...,N }
subject to
BERΘn (γo ) ≤ BERtarget
where pΓ (γ) is the probability density function (PDF) of the
SNR γ and γΘN +1 = ∞. Maximization of the average trans-
mission rate R̄ can be solved using Lagrange multipliers. How-
ever, due to the structure of both the objective function and
the inequality constraint, an analytical solution is extremely
difficult to find. Therefore, we will find the SNR region cor-
responding to each transmission mode by measurement.
In our simulations, we assume Nt = Nr = 4 and use the
dispersion matrices defined in section 2. First, we perform
constellation adaptation alone with a fixed ST symbol rate.
Secondly, we perform the ST symbol rate adaptation alone
with a fixed constellation. Finally, we will consider these
two parameter jointly to maximize the average transmission
rate meanwhile maintaining the target BER, which is equal to
10−3 in our design examples.
4.1. Adaptation Using Variable Constellations
Although the system design for continuous-rate scenario pro-
vide intuitive and useful guidelines [6], the associated con-
stellation mapper requires high implementation complexity.
In practice, discrete constellations are preferable. That is,
Q only takes integer number, such as Q = 1, 2, 3, ..... For
a given adaptive system, we can adjust the constellation to
maximize the transmission rate meanwhile keeping the target
BER satisfied. The proposed adaptive algorithm is applied
to the case. Here, we only consider BPSK (Q = 1), QPSK
(Q = 2), 8PSK (Q = 3) and 16QAM (Q = 4) as examples.
That is, Θn ∈ {BP SK, QP SK, 8P SK, 16QAM } with a
fixed ST symbol rate. The optimal transmission mode is se-
lected by the proposed adaptive algorithm, i.e., by equation
(27) and (28). Simulation results are shown in Fig. 2, where
(28) each subfigure has its own ST symbol rate.
 0
10 10
0 0
10 10
0

8PSK BPSK 3 Layer 2 layer

QPSK
10
−1
BPSK QPSK −1
4 layer 10
−1 3 layer
10
16QAM 10
−1 8PSK 1 layer 4 layer
16QAM 2 layer 10
−2 1 layer
−2
10 −2
10
BER

BER

BER

BER
−2 −3
10 10

−3
10 −3
10

−4
10

−3
10
−4
10 −4
10
−5
10

−4 −6
−4 −2 0 2 4 6 8 10 12 14 16 10 10
−2 0 2 4 6 8 10 12 14 16 18 20 −2 0 2 4 6 8 10 −2 0 2 4 6 8 10 12 14 16 18 20
SNR(dB) SNR(dB) SNR(dB) SNR(dB)

(a) L/T = 1 (b) L/T = 2 (a) BPSK (Q = 1) (b) QPSK (Q = 2)

0 0 0 0
10 10 10 10

BPSK BPSK 1 layer 3 layer

QPSK QPSK 2 layer 1 layer
−1
10
8PSK 8PSK −1
10
3 layer −1
10

16QAM −1
10
16QAM 4 layer 2 layer
4 layer

BER
BER
BER

BER

−2 −2 −2
10 10 10

−2
10

−3 −3 −3
10 10 10

−3
10

−4 −4 −4
10 10 10
−5 0 5 10 15 20 25 30 0 5 10 15 20 25 30 35 0 5 10 15 20 25 0 5 10 15 20 25 30 35

SNR(dB) SNR(dB) SNR(dB) SNR(dB)

(c) L/T = 3 (d) L/T = 4 (c) 8PSK (Q = 3) (d) 16QAM (Q = 4)

Fig. 2. Adaptive Constellation. Fig. 3. Adaptive ST symbol rate.

4.2. Adaptation Using Variable ST Symbol Rate adaptation. The joint adaptation is performed by choosing the
best pair of constellation size and ST symbol rate. The avail-
In other existing schemes, only the orthogonal designs, such able transmission modes are increased. That is,
as Alamouti scheme, are applied as the ST modulation. In this
case, the most convenient adaptive parameter is the constel- Θn ∈ {(BP SK, TL = 1), ..., (BP SK, TL = 4),
lation size. For our adaptive scheme, the application of LDC (QP SK, TL = 1), ..., (QP SK, TL = 4),
makes another adaptive parameter available, i.e., ST symbol (8P SK, TL = 1), ..., (8P SK, TL = 4),
rate. In this subsection, we fix the constellation size but adjust (16QAM, TL = 1), ..., (16QAM, TL = 4)}
the ST symbol rate for adaptation. Additionally, one advan-
tage of using ST symbol rate is that it is easier to change ST We can reduce the gap between the selection modes further
symbol rate than constellation size for adaptation. The pro- by adding more choices of the transmission rates. For the
posed adaptive algorithm described by (27) and (28) can be target BER, a scheme with the joint adaptation can improve
applied to ST symbol rate adaptation. the average transmission rate significantly as compared to the
two techniques in the previous subsections.
Note that, this system with 4 transmit antennas can have
We conclude the result in Table 1. In the following con-
16 choices of ST symbol rates, i.e., ( 14 ← · · · → 16 4 ). For L

convenience and less complexity, we use 4 choices, i.e., TL = text, γQT denotes the SNR associated with the transmission
1, 2, 3, 4. That is, Θn ∈ { TL = 1, TL = 2, TL = 3, TL = 4} mode with 2Q constellation and TL ST symbol rate.
with a fixed constellation. In the following context, the in- From the simulation results, we have the following obser-
teger of TL is referred as “layer”. The simulation results are vations:
shown in Fig. 3, where each subfigure has its own constella- • If the ST symbol rate is reduced, the slope of the as-
tion. sociated BER curve becomes steeper, which suggests a
larger diversity;
5. JOINT ADAPTIVE TECHNIQUE • If the constellation size is reduced, the BER curve will
shift to left with the similar slope, which suggests the
As shown in the previous two subsections, either constella- diversity keeps the same but the coding gain is improved.
tion adaptation or ST symbol rate adaptation can increase the
average transmission rate while the given BER is satisfied as There exists a tradeoff between diversity gain and multiplex-
compared to non-adaptive schemes. However, we can fur- ing gain [16]. However, this tradeoff can not provide insight
ther improve the average transmission rate by applying a joint for the adaptive system with discrete constellations. From the

Table 1. Joint Adaptation of ST symbol rate and constellation
size L
MODE γQ L/T Rm γQT
0 - - - γ < −0.6309
1 BPSK 1 1 −0.63 ≤ γ11 < −0.19
2 QPSK 1 2 −0.19 ≤ γ12 < 1.4
3 QPSK 2 4 1.4 ≤ γ22 < 4.5
4 QPSK 3 6 4.5 ≤ γ32 < 9.0
5 8PSK 3 9 9.0 ≤ γ33 < 24.3
6 8PSK 4 12 24.3 ≤ γ43 < 30.8
7 16QAM 4 16 γ44 ≥ 30.8
above observations, we find that we can improve data rate
by using the two adaptive parameters jointly. Specifically, in
some cases, we can adjust constellation size to improve rate
and performance; which in the other cases, we will adjust ST
symbol rate, i.e., multiplexing gain, for adaptation.
6. CONCLUSIONS
In this paper, we proposed a new adaptive design with LDC.
We studied the statistics of SINR of LDC with MMSE re-
ceiver as a guideline. Since the LDC is applied, it makes
space-time symbol rate available for adaptation. Two adap-
tation techniques using constellation and space-time symbol
rate are studied, respectively. With joint adaptation of space-
time symbol rate and constellation size, more transmission
modes can be provided to reduce rate gap among transmis-
sion modes and thus improve the average throughput. Addi-
tionally, with space-time symbol rate of the linear dispersion
code, the adaptive design can be simplified and various levels
of diversity and multiplexing gain can be provided. Simula-
tion results were provided to demonstrate merits of the joint
adaptation of constellation and space-time symbol rate.
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